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CFA

Carroll Financial Associates Portfolio holdings

AUM $1.88B
1-Year Est. Return 20.52%
This Fund
S&P 500
This Quarter Est. Return
+2.16%
1 Year Est. Return
+20.52%
3 Year Est. Return
+80.57%
5 Year Est. Return
+102.34%
10 Year Est. Return
–
AUM
$265M
AUM Growth
+$61.2M
Cap. Flow
-$1.15M
Cap. Flow %
-0.43%
Top 10 Hldgs %
39.72%
Holding
975
New
167
Increased
121
Reduced
109
Closed
40

Top Buys

Rank Stock Value
1
CSG
CHAMBERS STR PPTYS COM
CSG
+$1.5M
2
HTS
HATTERAS FINANCIAL CORP
HTS
+$1.46M
3
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$1.44M
4
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$1.06M
5
PXF icon
Invesco FTSE RAFI Developed Markets ex-US ETF
PXF
+$1.05M

Top Sells

Rank Stock Value
1
OAK
OAKTREE CAPITAL GROUP, LLC
OAK
+$4.74M
2
AMJ
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
+$3.12M
3
XOM icon
ExxonMobil
XOM
+$1.8M
4
HNR
Harvest Natural Resources
HNR
+$1.62M
5
HRL icon
Hormel Foods
HRL
+$1.26M

Sector Composition

Rank Sector Weight
1 Financials 13.74%
2 Technology 10.07%
3 Energy 9.61%
4 Healthcare 7.12%
5 Industrials 4.95%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VTRS icon
401
Viatris
VTRS
$18.9B
$22K 0.01%
579
+92
+19% +$3.24K
KOL
402
DELISTED
VanEck Vectors Coal ETF
KOL
$22K 0.01%
+119
New +$22.3K
ADRE
403
DELISTED
Invesco BLDRS Emerging Markets 50 ADR Index Fund
ADRE
$22K 0.01%
+600
New +$21.4K
EFA icon
404
iShares MSCI EAFE ETF
EFA
$80.2B
$21K 0.01%
335
+245
+272% +$15K
ERC
405
Allspring Multi-Sector Income Fund
ERC
$259M
$21K 0.01%
1,520
– –
FAF icon
406
First American
FAF
$7.58B
$21K 0.01%
900
– –
MUB icon
407
iShares National Muni Bond ETF
MUB
$45.5B
$21K 0.01%
207
-808
-80% -$83.4K
SPE
408
Special Opportunities Fund
SPE
$144M
$21K 0.01%
1,256
– –
UTG icon
409
Reaves Utility Income Fund
UTG
$3.61B
$21K 0.01%
857
– –
VEA icon
410
Vanguard FTSE Developed Markets ETF
VEA
$236B
$21K 0.01%
550
– –
VMO icon
411
Invesco Municipal Opportunity Trust
VMO
$663M
$21K 0.01%
1,829
– –
CLGX
412
DELISTED
Corelogic, Inc.
CLGX
$21K 0.01%
800
– –
CART
413
DELISTED
Carolina Trust BancShares
CART
$21K 0.01%
7,500
– –
RBS.PRE
414
DELISTED
RBS CAPITAL FUNDING TRUST V 5.9% CUMULATIVE GTD TR PFD SEC
RBS.PRE
$21K 0.01%
1,000
– –
AEG icon
415
Aegon
AEG
$14.1B
$20K 0.01%
+4,074
New +$20.8K
CNI icon
416
Canadian National Railway
CNI
$76.6B
$20K 0.01%
400
– –
GDX icon
417
VanEck Gold Miners ETF
GDX
$27.4B
$20K 0.01%
815
-2,200
-73% -$58.5K
RPG icon
418
Invesco S&P 500 Pure Growth ETF
RPG
$2.09B
$20K 0.01%
+1,590
New +$19.5K
OAK
419
DELISTED
OAKTREE CAPITAL GROUP, LLC
OAK
$20K 0.01%
400
-89,050
-100% -$4.74M
ADEP
420
DELISTED
Adept Technology Inc
ADEP
$20K 0.01%
+2,800
New +$12.1K
BRW
421
Saba Capital Income & Opportunities Fund
BRW
$339M
$19K 0.01%
1,580
– –
IVW icon
422
iShares S&P 500 Growth ETF
IVW
$77.6B
$19K 0.01%
888
– –
PSMT icon
423
Pricesmart
PSMT
$5.46B
$19K 0.01%
200
– –
SJM icon
424
J.M. Smucker
SJM
$12.8B
$19K 0.01%
182
– –
SXT icon
425
Sensient Technologies
SXT
$5.53B
$19K 0.01%
400
– –
15 16
17
18 19

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NFG
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6M
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RFA
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CCT
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RM
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Carroll Financial Associates's Q3 2013 Portfolio in Review

As of Q3 2013, Carroll Financial Associates held 975 positions worth $265M, up 30% from $204M the previous quarter. Its ten largest holdings account for 40% of the portfolio.

Carroll Financial Associates's Q3 2013 filing shows 167 new, 121 increased, 109 reduced and 40 closed positions. Its largest new stake was Rio Tinto: 19,299 shares worth $941K. The largest sale was OAKTREE CAPITAL GROUP, LLC, an estimated $4.74M.

By sector, the portfolio is most concentrated in Financials at 14% of assets, down from 17% a quarter earlier, followed by Technology and Energy.

  • Carroll Financial Associates's largest Q3 2013 buy was Rio Tinto: 19,299 shares worth $941K.
  • Carroll Financial Associates added most to CHAMBERS STR PPTYS COM in Q3 2013, an estimated $1.5M increase.
  • Carroll Financial Associates's biggest Q3 2013 reduction was OAKTREE CAPITAL GROUP, LLC, cutting an estimated $4.74M.
  • Carroll Financial Associates fully exited Hormel Foods in Q3 2013, selling an estimated $1.26M.
  • Carroll Financial Associates's ten largest holdings make up 40% of its $265M portfolio in Q3 2013.
  • Carroll Financial Associates opened 167 new positions and closed 40 in Q3 2013.
  • Carroll Financial Associates's portfolio value rose 30% quarter-over-quarter to $265M.

Based on Carroll Financial Associates's 13F filing for Q3 2013, filed 14 Nov 2013.